Our Staff has compiled our research into a database of FINRA Broker Disclosures for Roth Capital Partners, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Alexander Gene Montano | 1961932 | 4 | 02/11/2011 | Customer Dispute | Award / Judgment | $562,897.00 | $821,000.00 | See FINRA Report |
| Otilia Del Carmen Chen Rodriguez | 5041049 | 2 | 02/11/2011 | Customer Dispute | Award / Judgment | $562,897.00 | $821,000.00 | See FINRA Report |
| Alexander Gene Montano | 1961932 | 4 | 01/05/1999 | Customer Dispute | Award / Judgment | $504,745.00 | $325,000.00 | See FINRA Report |